0000919530-13-000002.txt : 20130212 0000919530-13-000002.hdr.sgml : 20130212 20130212095156 ACCESSION NUMBER: 0000919530-13-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130212 DATE AS OF CHANGE: 20130212 EFFECTIVENESS DATE: 20130212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: JOHN G ULLMAN & ASSOCIATES INC CENTRAL INDEX KEY: 0000919530 IRS NUMBER: 101113141 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03893 FILM NUMBER: 13594799 BUSINESS ADDRESS: STREET 1: 51 EAST MARKET STREET STREET 2: P O BOX 1424 CITY: CORNING STATE: NY ZIP: 14830 BUSINESS PHONE: 6079363785 MAIL ADDRESS: STREET 1: 51 EAST MARKET STREET STREET 2: P O BOX 1424 CITY: CORNING STATE: NY ZIP: 14830 13F-HR 1 december311213f.txt DECEMBER 31 2012 FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: John G.Ullman & Associates, Inc. Address: P.O. Box 1424 Corning, NY 14830 13F File Number: The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: John G. Ullman Title: President Phone: 607-936-3785 Signature, Place, and Date of Signing: John G. Ullman Corning, New York February 8, 2013 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 137 Form 13F Information Table Value Total: $412,505,814 FORM 13F INFORMATION TABLE TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X $1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ---------------------------- ------------- --------- --------- ------- --- ---- ------- --------- ----- ------- ------- COVIDIEN PLC SHS G2554F113 1810 31350 SH SOLE 31350 INGERSOLL-RAND PLC SHS G47791101 3429 71500 SH SOLE 71500 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 94 12900 SH SOLE 12900 XYRATEX LTD COM G98268108 970 115300 SH SOLE 115300 PENTAIR LTD SHS H6169Q108 535 10889 SH SOLE 10889 TE CONNECTIVITY LTD REG SHS H84989104 653 17600 SH SOLE 17600 TYCO INTERNATIONAL LTD SHS H89128104 1488 50871 SH SOLE 50871 THE ADT CORPORATION COM 00101J106 1160 24952 SH SOLE 24952 AT&T INC COM 00206R102 410 12155 SH SOLE 12155 ABERDEEN AUSTRALIA EQTY FD I COM 003011103 4514 432361 SH SOLE 432361 ACTIVISION BLIZZARD INC COM 00507V109 536 50450 SH SOLE 50450 AMERICAN CAP LTD COM 02503Y103 478 39785 SH SOLE 39785 AMERICAN SOFTWARE INC CL A 029683109 895 115383 SH SOLE 115383 AMGEN INC COM 031162100 9345 108414 SH SOLE 108414 ANALOG DEVICES INC COM 032654105 5809 138112 SH SOLE 138112 APPLE INC COM 037833100 828 1555 SH SOLE 1555 APPLIED MATLS INC COM 038222105 2508 219267 SH SOLE 219267 ARCHER DANIELS MIDLAND CO COM 039483102 2298 83900 SH SOLE 83900 ARGAN INC COM 04010E109 1364 75800 SH SOLE 75800 ASTEC INDS INC COM 046224101 1596 47850 SH SOLE 47850 BCE INC COM NEW 05534B760 6981 162575 SH SOLE 162575 BANCROFT FUND LTD COM 059695106 3563 217250 SH SOLE 217250 BANK NOVA SCOTIA HALIFAX COM 064149107 1470 25400 SH SOLE 25400 BAXTER INTL INC COM 071813109 1774 26609 SH SOLE 26609 BRISTOL MYERS SQUIBB CO COM 110122108 11041 338789 SH SOLE 338789 BROOKS AUTOMATION INC COM 114340102 3111 386398 SH SOLE 386398 CALAVO GROWERS INC COM 128246105 1044 41400 SH SOLE 41400 CALGON CARBON CORP COM 129603106 1123 79200 SH SOLE 79200 CENOVUS ENERGY INC COM 15135U109 797 23750 SH SOLE 23750 CHEMUNG FINL CORP COM 164024101 742 24827 SH SOLE 24827 CHESAPEAKE ENERGY CORP COM 165167107 193 11602 SH SOLE 11602 CIENA CORP COM NEW 171779309 217 13800 SH SOLE 13800 CISCO SYS INC COM 17275R102 4518 229909 SH SOLE 229909 CLAYMORE EXCHANGE TRD FD TR GUGG S&P GBL WTR18383Q507 388 17450 SH SOLE 17450 CLAYMORE EXCHANGE TRD-FD TR GUGG CHINA ALLCP18385P101 3529 138169 SH SOLE 138169 COCA COLA CO COM 191216100 8763 241728 SH SOLE 241728 CORNING INC COM 219350105 15049 1192499 SH SOLE 1192499 COVANCE INC COM 222816100 313 5411 SH SOLE 5411 CUBIST PHARMACEUTICALS INC COM 229678107 1199 28525 SH SOLE 28525 CURRENCYSHARES CDN DLR TR CDN DOLLAR SHS 23129X105 1162 11600 SH SOLE 11600 DARLING INTL INC COM 237266101 1977 123250 SH SOLE 123250 DENTSPLY INTL INC NEW COM 249030107 3745 94550 SH SOLE 94550 DISNEY WALT CO COM DISNEY 254687106 2248 45156 SH SOLE 45156 DOLBY LABORATORIES INC COM 25659T107 2241 76400 SH SOLE 76400 DRESSER-RAND GROUP INC COM 261608103 5794 103210 SH SOLE 103210 DUKE ENERGY CORP NEW COM NEW 26441C204 8053 126220 SH SOLE 126220 EGA EMERGING GLOBAL SHS TR EGS BRAZ INF ETF268461829 2952 140595 SH SOLE 140595 EGA EMERGING GLOBAL SHS TR EGS CHIN INF ETF268461837 1099 55975 SH SOLE 55975 E M C CORP MASS COM 268648102 586 23170 SH SOLE 23170 ELLSWORTH FUND LTD COM 289074106 2196 307592 SH SOLE 307592 ELMIRA SVGS BK ELMIRA N Y COM 289660102 1367 60136 SH SOLE 60136 EMERSON ELEC CO COM 291011104 13334 251770 SH SOLE 251770 ENCANA CORP COM 292505104 743 37600 SH SOLE 37600 ENDO HEALTH SOLUTIONS INC COM 29264F205 607 23150 SH SOLE 23150 EXELON CORP COM 30161N101 3019 101500 SH SOLE 101500 EXXON MOBIL CORP COM 30231G102 16863 194839 SH SOLE 194839 FLOWSERVE CORP COM 34354P105 4389 29895 SH SOLE 29895 GSV CAP CORP COM 36191J101 535 63500 SH SOLE 63500 GENERAL ELECTRIC CO COM 369604103 587 27973 SH SOLE 27973 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 8300 190939 SH SOLE 190939 GOOGLE INC CL A 38259P508 3180 4495 SH SOLE 4495 GRANITE CONSTR INC COM 387328107 6250 185895 SH SOLE 185895 GREAT PLAINS ENERGY INC COM 391164100 6834 336490 SH SOLE 336490 HALLIBURTON CO COM 406216101 454 13100 SH SOLE 13100 HARDINGE INC COM 412324303 442 44505 SH SOLE 44505 HONEYWELL INTL INC COM 438516106 7708 121442 SH SOLE 121442 ITT CORP NEW COM NEW 450911201 211 9005 SH SOLE 9005 IDACORP INC COM 451107106 8298 191425 SH SOLE 191425 INTEL CORP COM 458140100 7430 360346 SH SOLE 360346 INTERNATIONAL BUSINESS MACHS COM 459200101 2091 10918 SH SOLE 10918 IPASS INC COM 46261V108 25 13800 SH SOLE 13800 ISHARES INC MSCI BRAZIL 464286400 2244 40120 SH SOLE 40120 ISHARES INC MSCI SINGAPORE 464286673 4297 313855 SH SOLE 313855 ISHARES TR FTSE CHINA25 IDX464287184 2127 52575 SH SOLE 52575 ISHARES TR MSCI PERU CAP 464289842 2338 50950 SH SOLE 50950 JP MORGAN CHASE & CO COM 46625H100 1987 45200 SH SOLE 45200 JOHNSON & JOHNSON COM 478160104 24004 342429 SH SOLE 342429 LACLEDE GROUP INC COM 505597104 2236 57900 SH SOLE 57900 LANDEC CORP COM 514766104 1695 178250 SH SOLE 178250 LINDSAY CORP COM 535555106 8065 100663 SH SOLE 100663 MDU RES GROUP INC COM 552690109 3358 158100 SH SOLE 158100 MKS INSTRUMENT INC COM 55306N104 713 27650 SH SOLE 27650 MARKET VECTORS ETF TR VIETNAM ETF 57060U761 459 25500 SH SOLE 25500 MEDTRONIC INC COM 585055106 3633 88556 SH SOLE 88556 MENTOR GRAPHICS CORP COM 587200106 1834 107730 SH SOLE 107730 MERCK & CO INC NEW COM 58933Y105 5430 132622 SH SOLE 132622 MICROSOFT CORP COM 594918104 7172 268532 SH SOLE 268532 MONSANTO CO NEW COM 61166W101 3831 40475 SH SOLE 40475 NEOGEN CORP COM 640491106 1888 41666 SH SOLE 41666 NET SERVICOS DE COMUNICACAO SPONSD ADR NEW 64109T201 481 36175 SH SOLE 36175 NEXTERA ENERGY INC COM 65339F101 4658 67320 SH SOLE 67320 NORTHWESTERN CORP COM NEW 668074305 860 24750 SH SOLE 24750 NOVARTIS A G SPONSORED ADR 66987V109 6659 105200 SH SOLE 105200 OGE ENERGY CORP COM 670837103 3350 59500 SH SOLE 59500 OCLARO INC COM NEW 67555N206 65 41525 SH SOLE 41525 PALL CORP COM 696429307 10433 173137 SH SOLE 173137 PENN WEST PETE LTD NEW COM 707887105 147 13500 SH SOLE 13500 PEPSICO INC COM 713448108 363 5302 SH SOLE 5302 PFIZER INC COM 717081103 7984 318335 SH SOLE 318335 PORTLAND GEN ELEC CO COM NEW 736508847 4346 158835 SH SOLE 158835 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 276 4245 SH SOLE 4245 POWERSHARES ETF TRUST GOLDEN DRG CHINA73935X401 1166 60850 SH SOLE 60850 PROCTER & GAMBLE CO COM 742718109 4519 66558 SH SOLE 66558 QUEST DIAGNOSTICS INC COM 74834L100 332 5700 SH SOLE 5700 REGENERON PHARMACEUTICALS COM 75886F107 332 1941 SH SOLE 1941 ROPER INDS INC NEW COM 776696106 1070 9596 SH SOLE 9596 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 763 10300 SH SOLE 10300 ST JUDE MED INC COM 790849103 1191 32949 SH SOLE 32949 SCHLUMBERGER LTD COM 806857108 9486 136890 SH SOLE 136890 SIGMA ALDRICH CORP COM 826552101 4358 59225 SH SOLE 59225 SONUS NETWORKS INC COM 835916107 17 10000 SH SOLE 10000 STERIS CORP COM 859152100 5622 161875 SH SOLE 161875 STRYKER CORP COM 863667101 1097 20010 SH SOLE 20010 SUN HYDRAULICS CORP COM 866942105 364 13950 SH SOLE 13950 SUNCOR ENERGY INC NEW COM 867224107 729 22098 SH SOLE 22098 SUNOPTA INC COM 8676EP108 1182 209950 SH SOLE 209950 SUPERVALU INC COM 868536103 25 10000 SH SOLE 10000 SWISS HELVETIA FD INC COM 870875101 815 72222 SH SOLE 72222 SYNGENTA AG SPONSORED ADR 87160A100 1875 23200 SH SOLE 23200 TETRA TECH INC NEW COM 88162G103 1110 41931 SH SOLE 41931 TEXAS INSTRS INC COM 882508104 2414 78150 SH SOLE 78150 THERMO FISHER SCIENTIFIC INC COM 883556102 5096 79900 SH SOLE 79900 3M CO COM 88579Y101 6209 66875 SH SOLE 66875 TOMPKINS FINANCIAL CORPORATI COM 890110109 1592 40170 SH SOLE 40170 TORTOISE ENERGY INFRASTRCTR C COM 89147L100 296 7807 SH SOLE 7807 TRANSCANADA CORP COM 89353D107 1427 30150 SH SOLE 30150 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF922042858 305 6850 SH SOLE 6850 VERISIGN INC COM 92343E102 231 5950 SH SOLE 5950 VERIZON COMMUNICATIONS INC COM 92343V104 205 4748 SH SOLE 4748 WUXI PHARMATECH CAYMAN INC SPONS ADR SHS 929352102 663 42100 SH SOLE 42100 WATTS WATER TECHNOLOGIES INC CL A 942749102 1618 37639 SH SOLE 37639 WISDOMTREE TRUST CHINESE YUAN ETF97717W182 1495 58540 SH SOLE 58540 WISDOMTREE TRUST BRAZILN RL ETF 97717W240 797 42150 SH SOLE 42150 WISDOMTREE TR ASIA LC DBT FD 97717X842 909 17300 SH SOLE 17300 XYLEM INC COM 98419M100 1056 38968 SH SOLE 38968 ZIMMER HLDGS INC COM 98956P102 2355 35335 SH SOLE 35335 ZOLTEK COS INC COM 98975W104 1597 206051 SH SOLE 206051